All posts tagged "SEC"

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  SEC announces $26 million settlement fund for certain UBS Puerto Rico investors

  Investors 'harmed' in relation to 23 non-exchange-traded, closed-end funds may file claims 

  • Posted March 22, 2019
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  Companies have up to a year for new U.S. tax bill reporting: SEC

  Rules require flagging potential material risks or changes to operations and outlook to shareholders

  • Posted December 26, 2017
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  Apple aims to block climate, rights proposals with quick use of SEC guidance

  Including establishing a 'human rights committee' to address concerns on topics like censorship, and to report on its ability to cut greenhouse gas emissions

  • Posted December 11, 2017
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  Wall St. attorney Clayton gets Senate panel OK as SEC head

  WASHINGTON – A Senate panel has cleared the nomination of Jay Clayton, the Wall Street attorney chosen by President Donald Trump to lead the Securities and Exchange Commission. The vote was 15-8 Tuesday by the Senate Banking...

  • Posted April 4, 2017
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  Trump Names Wall Street Lawyer Clayton as SEC Chairman

  WASHINGTON – President-elect Donald Trump on Wednesday chose a Wall Street attorney with experience in corporate mergers and public stock launches as his nominee to head the Securities and Exchange Commission. Trump announced his nomination of Jay...

  • Posted January 4, 2017
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  United Airlines will pay $2.4 million to settle with SEC

  WASHINGTON — The parent company of United Airlines will pay $2.4 million to settle civil charges by securities regulators over flights that were started to help an official who oversaw one of the airline’s hub airports. The...

  • Posted December 2, 2016
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  Senate Questions Donahue About Work in Prepa

  Official at utility recognizes SEC is probing two bond emissions by the public corporation

  • Posted October 5, 2016
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  SEC Investigating Three Prepa Bond Issues, Officials Say

  Utilitiy's executive director revealed probe after a Senate hearing investigating the recent island-wide blackout

  • Posted October 4, 2016
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  SEC Accuses Hedge Fund Manager Cooperman of Insider Trading

  WASHINGTON – Federal regulators have accused high-profile hedge fund manager Leon Cooperman and his firm of illegally trading on confidential information he learned from a company executive. The Securities and Exchange Commission announced the civil insider-trading charges Wednesday...

  • Posted September 21, 2016
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  Hedge-fund manager Cohen settles with US commodities agency

  WASHINGTON – Billionaire hedge-fund manager Steven A. Cohen, who was earlier accused of failing to prevent massive insider trading at his firm, has agreed in a settlement with the government not to engage in any activities overseen...

  • Posted August 16, 2016